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Item 6. EXHIBITS

12K characters. Original on sec.gov ·

Item 6. EXHIBITS

EXHIBIT INDEX

3.1Amended and Restated Certificate of Incorporation of Prudential Financial, Inc. Incorporated by reference to Exhibit 3.1 to the Registrant’s January 22, 2015 Current Report on Form 8-K.
3.2Amended and Restated By-Laws of Prudential Financial, Inc., effective September 12, 2023. Incorporated by reference to Exhibit 3.1 to the Registrant’s September 13, 2023 Current Report on Form 8-K.
10.1Prudential Financial, Inc. Clawback Policy, effective June 13, 2023. Incorporated by reference to Exhibit 10.1 to the Registrant’s Quarterly Report on Form 10-Q for the Quarter ended June 30, 2023.*
31.1Section 302 Certification of the Chief Executive Officer.
31.2Section 302 Certification of the Chief Financial Officer.
32.1Section 906 Certification of the Chief Executive Officer.
32.2Section 906 Certification of the Chief Financial Officer.
101.INS - XBRLInstance Document - the instance document does not appear in the Interactive Data File because its XBRL tags are embedded within the Inline XBRL document.
101.SCH - XBRLTaxonomy Extension Schema Document.
101.CAL - XBRLTaxonomy Extension Calculation Linkbase Document.
101.LAB - XBRLTaxonomy Extension Label Linkbase Document.
101.PRE - XBRLTaxonomy Extension Presentation Linkbase Document.
101.DEF - XBRLTaxonomy Extension Definition Linkbase Document.
104Cover Page Interactive Data File (formatted as Inline XBRL and contained in Exhibit 101).

  • This exhibit is a management contract or compensatory plan or arrangement.

Table of Contents

GLOSSARY

Throughout this Quarterly Report on Form 10-Q, the Company may use certain abbreviations, acronyms and terms which are defined below.

Prudential Entities
Assurance IQAssurance IQ, LLCPRIACPrudential Retirement Insurance and Annuity Company
CompanyPrudential Financial, Inc. and its subsidiariesPruco LifePruco Life Insurance Company
PFIPrudential Financial, Inc. and its subsidiariesPrudentialPrudential Financial, Inc. and its subsidiaries
PGFLPrudential Gibraltar Financial Life Insurance Co., Ltd.Prudential FinancialPrudential Financial, Inc.
PGIMThe global investment management business of Prudential Financial, Inc.Prudential FundingPrudential Funding, LLC
PIIHPrudential International Insurance Holdings, Ltd.Prudential Insurance/PICAThe Prudential Insurance Company of America
PLICPrudential Legacy Insurance Company of New JerseyPrudential of JapanThe Prudential Life Insurance Company, Ltd.
PLNJPruco Life Insurance Company of New JerseyRegistrantPrudential Financial, Inc.
POAPrudential of Argentina
Defined Terms
BoardPrudential Financial's Board of DirectorsMorningstarMorningstar, Inc.
Closed BlockCertain in-force participating insurance policies and annuity products, along with corresponding assets used for the payment of benefits and policyholders' dividends on these productsOhio NationalThe Ohio National Life Insurance Company
Credit-Linked Note StructuresAgreements with external counterparties providing for the issuance of surplus notes by our captive reinsurers in return for the receipt of credit-linked notesOther Postretirement BenefitsCertain health care and life insurance benefits provided by the Company for its retired employees, their beneficiaries and covered dependents
Exchange ActThe Securities Exchange Act of 1934Pension BenefitsFunded and non-funded non-contributory defined benefit pension plans which cover substantially all of the Company’s employees
FitchFitch Ratings Inc.POTThe Prudential Life Insurance Company of Taiwan Inc.
FortitudeFortitude Group Holdings, LLCPrismic HoldCoPrismic Life Holding Company, LP
Great-WestGreat-West Life & Annuity Insurance CompanyPrismic RePrismic Life Reinsurance, Ltd
Guideline AXXXThe Application of the Valuation of Life Insurance Policies Model RegulationRegulation XXXValuation of Life Insurance Policies Model Regulation
Hartford FinancialHartford Financial Services Group, Inc.S&PStandard & Poor's Rating Services
Inflation Reduction ActThe Inflation Reduction Act of 2022Union HamiltonUnion Hamilton Reinsurance, Ltd.
Moody'sMoody's Investors Service, Inc.U.S. GAAPGenerally accepted accounting principles in the United States of America

Table of Contents

Acronyms
ACLAllowance for Credit LossesLPs/LLCsLimited Partnerships and Limited Liability Companies
AIRAdditional Insurance ReservesLRRLoss Recognition Reserves
ALMAsset Liability ManagementMD&AManagement's Discussion and Analysis of Financial Condition and Results of Operations
AOCIAccumulated Other Comprehensive Income (Loss)MRBMarket Risk Benefits
ASCAccounting Standards CodificationNAICNational Association of Insurance Commissioners
ASUAccounting Standards UpdateNAVNet Asset Value
AUDAustralian DollarNJDOBINew Jersey Department of Banking and Insurance
bpsBasis PointsNPRNon-Performance Risk
CECLCurrent Expected Credit LossNTGNet-To-Gross
CLOCollateralized Loan ObligationsOCIOther Comprehensive Income (Loss)
COVID-192019 Novel CoronavirusOTCOver-The-Counter
DACDeferred Policy Acquisition CostsOTTIOther-Than-Temporary Impairments
DPLDeferred Profit LiabilityPALACPrudential Annuities Life Assurance Corporation
DSIDeferred Sales InducementsPDIPrudential Defined Income
EBITDAEarnings Before Interest, Taxes, Depreciation and AmortizationPFLProfits Followed by Losses
FASBFinancial Accounting Standards BoardRAFRisk Appetite Framework
FLIACFortitude Life Insurance and Annuity CompanyRBCRisk-Based Capital
FSAFinancial Services Agency (an agency of the Japanese government)SECSecurities and Exchange Commission
GICsGuaranteed Investment ContractsSOFRSecured Overnight Financing Rate
GILTIGlobal Intangible Low-Taxed IncomeSVOSecurities Valuation Office
GMABGuaranteed Minimum Accumulation BenefitsTBATo-Be-Announced
GMDBGuaranteed Minimum Death BenefitsTDRTroubled Debt Restructuring
GMIBGuaranteed Minimum Income BenefitsURRUnearned Revenue Reserve
GMIWBGuaranteed Minimum Income and Withdrawal BenefitsU.S.The United States of America
GMWBGuaranteed Minimum Withdrawal BenefitsUSDU.S. Dollar
HDIHighest Daily Lifetime IncomeVIEsVariable Interest Entities
LIBORLondon Inter-Bank Offered RateVOBAValue of Business Acquired

Table of Contents

SIGNATURES

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized.

Prudential Financial, Inc.
By:/S/ KENNETH Y. TANJI
Kenneth Y. Tanji Executive Vice President and Chief Financial Officer (Authorized signatory and principal financial officer)

Date: November 2, 2023

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